Reporting Form SRF 604.0

RSE Licensee Profile

Instruction Guide

This instruction guide is designed to assist in the completion of Reporting Form SRF 604.0 RSE Licensee (SRF 604.0). This form collects information on the structure of each RSE licensee’s business operations.

General directions and notes

Reporting level

SRF 604.0 must be completed for each RSE licensee in respect of its business operations.

Reporting tables

Tables described in this reporting form list each of the data fields required to be reported. The data fields are listed sequentially in the column order that they will appear in the reported data set. Constraints on the data that can be reported for each field have also been provided.

The unique identifier column indicates which field or fields form the primary key of the table. Where a field has ‘Y’ in the unique identifier column, this denotes that this field forms part of the primary key for the table. A blank cell in the unique identifier column means that the field does not form part of the primary key for the table. Any specific combination of values in the fields that form the primary key of a table must not appear on more than one row in that table when reported.

Reporting basis and units of measurement

Amounts in SRF 604.0 are to be reported as percentages or whole numbers. Percentages are to be reported as an unconverted number to two decimal places. For example, 12.34 per cent is to be reported as 0.1234.

Definitions

Terms highlighted in bold italics indicate that the definition is provided in Reporting Standard SRS 101.0 Definitions for Superannuation Data Collections (SRS 101.0).

Specific instructions

Table 1: RSE Licensee Governing Rules

Report the RSE licensee governing rules as at the end of the reporting period.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Australian Financial Services (AFS) Licence Number	Y	All filers	6 digit valid AFSL	Report the RSE licensee's Australian Financial Services (AFS) Licence Number.
2	RSE Licensee Profit Status Type		All filers	Not For Profit StatusFor Profit Status	Report the RSE licensee’s profit status type.
3	RSE Licensee Board Representation Type		All filers	Equal Representation Required By LegislationEqual Representation Required By Governing RulesNon Equal Representation	Report the RSE licensee’s board representation type.
4	Minimum Board Size		All filers	Whole numbers	Report the minimum board size as defined by governance requirements. If the RSE licensee does not have a board specified minimum board size, leave this field blank.
5	Length Of Board Approved Director Term		All filers	Whole numbers	Report the length of a director’s term in years. If the RSE licensee does not have a board approved director term, leave this field blank.
6	Maximum Director Tenure		All filers	Whole numbers	Report the board approved maximum director tenure in years. If the RSE licensee has not specified a maximum tenure for directors, leave this field blank.
7	Date Of Last Board Performance Assessment		All filers	Date values (dd/mm/yyyy)	Report the date of the last board performance assessment, that is assessment of the board’s performance relative to its objectives.
8	Date Of Last Board Capability Review		All filers	Date values (dd/mm/yyyy)	Report the date of the last board capability review, which includes the assessment of the mix of skills the board currently has or is looking to achieve.

Table 2: RSE Licensee Ownership Structure

Report the RSE licensee ownership structure and shareholders of the RSE licensee as at the end of the reporting period. No look through to ownership of the RSE licensee shareholders is required.

Column	Field name	Applicable to	Valid values	Description
1	RSE Licensee Ownership Type	All filers	Financial Services Corporation OwnershipEmployee Sponsor (Non-Public Sector) OwnershipPublic Sector Organisation OwnershipNominating Organisation OwnershipPublic Company OwnershipOther Ownership Type	Report the RSE licensee ownership type.
2	Details of Other Ownership Type	All filers	Free text	Report the description of the other ownership type.
3	Shareholder Type	All filers	IndividualCompanyNot Applicable	Report the shareholder type for all shareholders in the RSE licensee. Report each shareholder as a separate line item.
4	Title	All filers	MrMsMxMrsMissDrRevSirFrSrBrotherThe HonProfEmeritus ProfAssociate ProfNot Applicable	Report the title of the owner, where the shareholder type is an individual. Where the shareholder type is a company or not applicable, report ‘Not Applicable’.
5	Given Name(s)	All filers	Free text	Report the given name(s) of the owner, where the shareholder type is an individual. Where the shareholder type is a company or not applicable, leave this field blank.
6	Family Name(s)	All filers	Free text	Report the family name or surname of the owner, where the shareholder type is an individual. Where the shareholder type is a company or not applicable, leave this field blank.
7	Shareholder Is Director Of The RSE Licensee	All filers	YesNoNot Applicable	Report if the shareholder is a director of the RSE licensee. Where the shareholder type is a company or not applicable, report ‘Not Applicable’.
8	Shareholder Also Shareholder Of Connected Entity	All filers	YesNo	Report if the shareholder is also a shareholder of a connected entity of the RSE licensee.
9	Company Name	All filers	Free text	Report the company name of the owner, where the shareholder type is a company. Where the shareholder type is an individual or not applicable, leave this field blank.

Table 3A: RSE Licensee Directors

Report each individual who was a director on the board of the RSE licensee at any time during the reporting period.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Director Identification Number	Y	All filers	15 digit valid Director Identification Number	Report the Director Identification Number from the Australian Business Registry Services for each director that was on the board during the reporting period. Report each director as a separate line.
2	Director Type		All filers	Independent DirectorNon-Affiliated DirectorExecutive DirectorNon-Executive DirectorAlternate Director	Report the director type.
3	Director Representative Type		All filers	Member RepresentativeEmployer RepresentativeParent Company RepresentativeIndependent - Not Applicable	Report the director representative type of the director. Where director type = independent director, report 'Independent - Not Applicable'.
4	Name Of Representation Entity		All filers	Free text	For each director where the director representative type is member representative, employer representative or parent company representative, report the name of the entity or nominating organisation the director is representing. If director representative type is ‘Independent - Not Applicable’, leave this field blank.
5	Representation Entity ABN		All filers	ABN Integer	For each entity listed, report the ABN of the entity. If director representative type is ‘Independent - Not Applicable’, leave this field blank.
6	Title		All filers	MrMsMxMrsMissDrRevSirFrSrBrotherThe HonProfEmeritus ProfAssociate Prof	Report the title of the director.
7	Given Name(s)		All filers	Free text	Report the given name(s) of the director.
8	Family Name(s)		All filers	Free text	Report the family name or surname of the director.
9	Gender		All filers	FemaleMaleNon-binaryOtherNot Stated Or Inadequately Described	Report the gender of the director.
10	Year of Birth

Table 3B: RSE Licensee Directors – Other Directorships

For any director of the RSE licensee who is also a board member of any of the following entity types:

ASX-listed entity;

APRA-regulated entity (apart from the RSE licensee);
Material Service Provider; or
Connected Entity,

report details of all other entities where the director of the RSE licensee has been a board member during the reporting period.

For reporting periods ending 30 June 2025 or 30 September 2025 only: Report details of all other entities where the director of the RSE licensee was a board member as at the end of the reporting period.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Director Identification Number	Y	All filers	15 digit valid Director Identification Number	Report the Director Identification Number from the Australian Business Registry Services for each director that was also a board member, during the reporting period, of one of the entity types listed in the instructions. Report each director as a separate line.
2	Other Directorships Entity Name(s)	Y	All filers	Free text	Where the director is also a board member of an entity type listed in the instructions, report the business name of each entity. Where the director is or has been a board member of multiple entities during the reporting period, report each unique combination of Director Identification Number and entity name on a separate line.
3	Other Directorships Entity ABN		All filers	11 digit valid ABN	Report the ABN of each entity.
4	Other Directorships Status Type		All filers	NewNo ChangeCeased	Report the status for the other directorships record.Report ‘New’ if this is a new directorship being reported for the first time.Report ‘No Change’ if there has been no change to the directorship since it was last reported.Report ‘Ceased’ if the directorship has ceased since it was last reported.
5	Position Start Date	Y	All filers	Date values (dd/mm/yyyy)	Report the director’s commencement date on the board of one of the entity types listed in the instructions.
6	Position End Date		All filers	Date values (dd/mm/yyyy)	Where the director ceased to be a board member of one of the entity types listed in the instructions during the reporting period, report the date that the director's role ceased. Where the director's role has not ceased during the period, then leave this field blank.
7	Other Directorships - ASX Listed Entity		All filers	YesNo	Report if the entity is a listed on the Australian Stock Exchange (ASX).
8	Other Directorships - Other APRA Regulated Entity		All filers	YesNo

Table 3C: RSE Licensee Directors – Other Employment

For any director of the RSE licensee who is:

Employed in any capacity, including on a consultancy basis, in any of the following entity types:

ASX-listed entity;
APRA-regulated entity (apart from the RSE licensee);
Material service provider; or
Connected entity; or

Employed in any other entity where that employment comprises more than 50% of their time on a Full Time Equivalent basis, report details of all other entities where the director has been employed during the reporting period. Do not report other board directorships in this reporting table.

For reporting periods ending 30 June 2025 or 30 September 2025 only: Report details of all other entities where the director of the RSE licensee was employed as at the end of the reporting period.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Director Identification Number	Y	All filers	15 digit valid Director Identification Number	Report the Director Identification Number from the Australian Business Registry Services for each director that was also employed, during the reporting period, at one of the entity types listed in the instructions. Report each director as a separate line.
2	Employer Name	Y	All filers	Free text	Where the director was also employed, during the reporting period, at one of the entity types listed in the instructions, report the business name of the entity. Where the director is or has been employed by multiple entities during the reporting period, report each unique combination of Director Identification Number and employer name on a separate line.
3	Employer ABN		All filers	11 digit valid ABN	Report the ABN of each entity.
4	Position Start Date	Y	All filers	Date values (dd/mm/yyyy)	Report the director’s commencement date in the role.
5	Position End Date		All filers	Date values (dd/mm/yyyy)	Where the director’s role ceased during the reporting period, report the date that the director’s role ceased. Where the director’s role has not ceased during the period, then leave this field blank.
6	Executive Or Other Employee Of Another Entity		All filers	Employee - ExecutiveEmployee - Other	Where the director is an employee of another entity, report whether they were employed in an executive or other role.
7	Other Employment - ASX Listed Entity		All filers	YesNo	Report if the entity is a listed on the Australian Stock Exchange (ASX).
8	Other Employment - Other APRA Regulated Entity		All filers	YesNo	Report if the entity is an APRA-regulated entity.
9	Other Employment - Material Service Provider		All filers	YesNo	Report if the entity is a material service provider to the RSE licensee.

Table 4: Board and Board Committees

Report each committee operated by the RSE licensee during the reporting period. Each committee, including the board, must be identified by a unique board and board committee identifier in Table 4. Where a board or board committee type is not listed in Column 2, “Other Committees” must be reported along with the “Name(s) Of Other Committees” in Column 3. This includes committees where functions may be combined, for example “Audit” and “Risk and Compliance Committee”, and any special purpose and/or ad-hoc committees that operated during the reporting period.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Board And Board Committee Identifier	Y	All filers	No more than 100 alpha-numeric characters (with no special characters)	Report the board and board committee identifier for the board and all board committees.
2	Board Or Board Committee Type		All filers	BoardRemuneration, People and Culture CommitteeAudit CommitteeInvestments CommitteeNominations CommitteeRisk And Compliance CommitteeTechnology CommitteeMember Services CommitteeClaims CommitteeValuation CommitteeOther Committees	Report the board or board committee type for all committees operated by the RSE licensee during the reporting period. Report each board or board committee as a separate line item.
3	Name(s) Of Other Committees		All filers	Free text	Where there are other committees not otherwise specified, report the name(s) of the other committees. Report each other committee as a separate line item.
4	Group Board Remuneration Committee		All filers	YesNo	Report if the board remuneration committee is a group board remuneration committee.
5	Number Of Committee Members		All filers	Whole numbers	Report the size of the board and all board committees, including any vacancies.
6	Number Of Committee Members Who Are Not Directors		All filers	Whole numbers	Report the number of board committee members, with voting rights, who are not board directors.
7	Number Of Meetings Held		All filers	Whole numbers	For the reporting period, report the number of meetings held for the board and each board committee.If the board remuneration committee is a group board remuneration committee, report the total number of meetings held for that committee.

Table 5: Attendees of Board and Board Committee Meetings

For all board committee members who are directors of the RSE licensee, report each individual who was a member of any board committee operated by the RSE licensee at any time during the reporting period and, for each member, the number of board committee meetings attended during the reporting period. For any Group Board committees, such as Group Board Remuneration Committee, this table is only required to be completed for directors who are also members of the Group Board committee.

This information is not required to be reported for committee members who are not directors of the RSE licensee.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Board And Board Committee Identifier	Y	All filers	No more than 20 alpha-numeric characters (with no special characters)	Report the board and board committee identifier for the board and all board committees.
2	Director Identification Number	Y	All filers	15 digit valid Director Identification Number	For committee members who are directors of the RSE licensee, report the director identification number from the Australian Business Registry Services. Report each board and board committee member for each committee as a separate line.
3	Position Start Date	Y	All filers	Date values (dd/mm/yyyy)	For all board committees and committee members, report the date the person became a member of the board committee.
4	Position End Date		All filers	Date values (dd/mm/yyyy)	For all board committees and committee members who ceased membership of a board committee during the reporting period, report the date they ceased their role on the board committee. If board committee member did not cease their role during the reporting period, leave this field blank.
5	Number Of Board And Board Committee Meetings Attended		All filers	Whole numbers	Report the number of board and board committee meetings attended by each board and board committee member. Report each board committee member for each committee as a separate line.
6	Chairperson Of Board Or Board Committee		All filers	YesNo	Report if the director was the chairperson of the board or board committee during the reporting period.

Reporting Form SRF 604.0Reporting Form SRF 604.0

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